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Found 1426 results. Displaying page 2 of 96

  2. 15 December 2022

    Pencarrow AML/CFT formal warning

    We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
    Our investigation found Pencarrow had systemic failings in its retention of identity and verification records for customers who invested in its Fund V, during the period April to July 2018, in that the records were not readily accessible.

    https://www.fma.govt.nz/assets/Enforcement/Warnings/Pencarrow-AML-CFT-formal-warning-151222.pdf (202 KB)

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    PDF

  6. 15 December 2022

    DBG formation and change guideline 2022

    This guideline 2022 is designed to help reporting entities forming a designated business group (DBG) to understand the process for doing so. Entities may form a DBG if they are eligible to do so under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations.

    https://www.fma.govt.nz/assets/Guidance/DBG-formation-and-change-guideline-2020.pdf (177 KB)

    Tags
    AML/CFT, Obligations, Roles, Business, Designated Business Group (DBG)
    Type
    PDF, Guidance